Global Banking & Markets - Dallas - Associate, Regulatory Reporting - Trade Level - 9625409
About The Position
Responsible for preparing and submitting regulatory reports to agencies, such as FINRA and the SEC, ensuring compliance with global regulatory requirements. Analyzing large datasets to ensure accuracy, addressing discrepancies, and collaborating with technology teams to build and maintain efficient data pipelines. Identify and address control gaps, automate manual processes, and enhance existing reporting systems to improve efficiency and reduce risk. Work closely with internal teams, including Engineering, Middle Office, Legal, and Compliance, to align reporting practices with business objectives while serving as a liaison with regulatory agencies. Conduct risk and compliance monitoring and prepare updates for senior management. Participate in projects related to regulatory requirements, collaborate with global teams to implement changes, and provide regular updates on progress. Stay informed about regulatory changes, assess their impact on reporting obligations, and contribute to the team’s long-term strategy to address evolving business needs.
Requirements
- Master’s degree (U.S. or foreign equivalent) in Finance, Economics, Business Analytics, or related field and one (1) year of experience in the job offered or in a related role OR Bachelor’s degree (U.S. or foreign equivalent) in Finance, Economics, Business Analytics, or a related field and three (3) years of experience in the job offered or a related role.
- Working with market and financial instruments (including equities, exchange traded derivatives, and OTC derivatives).
- US-based regulatory obligations including responding to regulator inquiries from FINRA.
- Using JIRA framework and technologies that govern data flow and eligibility logic to build required control framework that provide visibility on risk, including Key Risk Indicators (KRI) accuracy, timeliness, completeness and other metrics.
- Working with internal and external counterparties, including stakeholders in the business, engineering, compliance and legal, counselors and clients.
- Using Business Intelligence tools, including Alteryx and SQL, to develop BI solutions and define strategies.
Responsibilities
- Preparing and submitting regulatory reports to agencies, such as FINRA and the SEC, ensuring compliance with global regulatory requirements.
- Analyzing large datasets to ensure accuracy and addressing discrepancies.
- Collaborating with technology teams to build and maintain efficient data pipelines.
- Identifying and addressing control gaps.
- Automating manual processes.
- Enhancing existing reporting systems to improve efficiency and reduce risk.
- Working closely with internal teams, including Engineering, Middle Office, Legal, and Compliance, to align reporting practices with business objectives.
- Serving as a liaison with regulatory agencies.
- Conducting risk and compliance monitoring.
- Preparing updates for senior management.
- Participating in projects related to regulatory requirements.
- Collaborating with global teams to implement changes.
- Providing regular updates on progress.
- Staying informed about regulatory changes and assessing their impact on reporting obligations.
- Contributing to the team’s long-term strategy to address evolving business needs.
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What This Job Offers
Job Type
Full-time
Career Level
Mid Level
